促进科技成果转化的地方立法效果评估——以陕西省为例  

Evaluation on the effect of local legislation in promoting the transformation of scientific and technological achievements:Evidence from Shaanxi Province

作　　者：李黎明 王雅楠 张亚峰 LI Li-ming;WANG Ya-nan;ZHANG Ya-feng(School of Public Policy and Administration,Northwestern Polytechnical University,Xi'an 710129,China;School of Public Policy and Management,University of Chinese Academy of Sciences,Beijing 100190,China;City University of Macao,Macao 999078,China)

机构地区：[1]西北工业大学公共政策与管理学院,陕西西安710129 [2]中国科学院大学公共政策与管理学院,北京100190 [3]澳门城市大学商学院,中国澳门999078

出　　处：《科学学研究》2025年第3期630-641,共12页Studies in Science of Science

基　　金：国家自然科学基金面上项目(72274156);国家自然科学基金青年基金项目(72104228);陕西省软科学研究一般项目(2023-CX-RKX-134)。

摘　　要：《促进科技成果转化法》的修改带动了科技成果收益权改革的地方立法热潮,对推进科技与经济深度融合、实现高质量发展具有重要意义。现有文献主要关注高校科技成果转化的收益分配机制与政策评价,评估地方立法效果的实证文献还较少。本文以地方立法中收益分配比例最高的陕西省为研究对象,运用双重差分法识别了科技成果收益权改革的因果效应。实证结果显示,奖励更高收益分配比例的地方立法显著促进了高校的专利转让数量,而且地方立法对高校科技成果就地转化的正向效应更显著。地方立法明确技术转移人员参与科技成果转化收益分配,回归结果证实省级技术转移示范机构提升了高校专利转让的价格,缩短了专利商用化所需年限。进一步分析发现,较小规模的企业更愿意支付更高的价格购买来自拥有省级技术转移示范机构高校的转让专利。据此,本文提出了若干促进科技成果转化的政策建议。The revision of the Law of the Peoples Republic of China on Promoting the Transformation of Scientific and Technological Achievements has led to a wave of local legislation on the reform of the income of scientific and technological achievements,which is of great significance to promoting the deep integration of science and technology and economy and achieving high-quality development.The existing literature mainly focuses on the income distribution mechanism and policy evaluation of the transformation of scientific and technological achievements in universities,and there are few empirical literatures to evaluate the effect of local legislation.This paper takes Shaanxi Province,which has the highest proportion of income distribution in local legislation,as the treated group,and constructs a difference-in-differences(DID)model using the difference in the effective date of local legislation with Henan Province,Hubei Province,Hunan Province,and Chongqing city,adjacent to Shanxi Province,as the control group.We have identified the causal effect of the reform of income right of scientific and technological achievements using the difference-in-differences model.The benchmark regression results show that rewarding researchers with a higher proportion of income from the transformation of scientific and technological achievements significantly promotes the number of patent transfers in universities.The positive effect of local legislation remains reliable after a series of robustness tests.Considering the impact of the university job invention reward system,the benchmark regression results remain robust.However,if we replace the treated group with Liaoning Province,which only stipulates the principle of profit distribution ratio,the positive effect is no longer significant.We have changed our empirical methods and further added Zhejiang Province,Guangdong Province,Hebei Province,and Heilongjiang Province,which implemented local legislation before Shaanxi Province,as treated groups.The results of the DID model with multipl

关 键 词：科技成果转化 收益分配 双重差分法 专利价值 技术转移中心 

分 类 号：G306[文化科学]